DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

S••••• F•••••••• C•••••••••

Independent wealth managerWilton, CaliforniaCRD 293058SEC 801-132438websiteIAPD
Latest filing Mar 20, 2026
First filing on the tape Apr 1, 2025 · 3 filings
SEC status approved since Apr 17, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$130M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$132M as of Mar 20, 2026
Apr 1, 2025$105M then
HNW client RAUM$86.7M as of Mar 20, 2026
Apr 1, 2025$63.2M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Apr 1, 20252 then
Employees (5.A)2 as of Mar 20, 2026
Apr 1, 20252 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$66.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
132derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$234,991derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$86.7M66%
  • Individuals$43.0M33%
  • Corporations and businesses$2.6M2.0%
Individual clients
191reported
HNW clients
73reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
563reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• D•••• S•••••Wilton, CaJun 18, 201825 y3
K•••• A••••• S•••••Certified Financial PlannerWilton, CaJul 6, 201817 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Wilton, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 448 to 563
      Sep 17, 2025 to Mar 20, 2026
    • HNW clients · 54 to 73
      Sep 17, 2025 to Mar 20, 2026
    • Individual clients · 160 to 191
      Sep 17, 2025 to Mar 20, 2026
    • Financial planning clients · 0 to
      Sep 17, 2025 to Mar 20, 2026
    • Discretionary RAUM · $105M to $132M
      Sep 17, 2025 to Mar 20, 2026
    • HNW RAUM · $63.2M to $86.7M
      Sep 17, 2025 to Mar 20, 2026
    • Individual RAUM · $40.2M to $43.0M
      Sep 17, 2025 to Mar 20, 2026
    • RAUM · $105M to $132M
      Sep 17, 2025 to Mar 20, 2026
    • Financial planning clients · 0 to 0
      Apr 1, 2025 to Sep 17, 2025
    • HQ city · ROSEVILLE to WILTON
      Apr 1, 2025 to Sep 17, 2025
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    916-601-1992reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    916-601-1992reportedpublic record, Form ADV, Mar 20, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $66.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026